National Market System Plans (NMS) Rulemaking
We encourage the public to submit comments on the following filings during the comment period. For detailed instructions, please read How to Submit Comments. We strongly encourage you to send your comments electronically. They will be posted on this website.
| Release Number | SEC Issue Date Sort ascending | File Number | SRO Organization | Details |
|---|---|---|---|---|
| 34-51391 | Mar 17, 2005 | SR-CTA/CQ-2004-01 | National Market System Plans (NMS) | Order Approving the Seventh Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan and the Fifth Substantive Amendment to the Restated Consolidated Quotation Plan |
| 34-51292 | Mar 2, 2005 | S7-24-89 | National Market System Plans (NMS) | Order Extending for One Year the Operation of the Reporting Plan for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privilege Basis, Submitted by the Pacific Exchange, Inc., the National Association of Securities Dealers, Inc., the American Stock Exchange LLC, the Boston Stock Exchange, Inc., the Chicago Stock Exchange, Inc., the Cincinnati Stock Exchange, Inc., and the Philadelphia Stock Exchange, Inc., and to Extend Certain Exemptive Relief |
| 34-51304 | Mar 2, 2005 | S7-24-89 | National Market System Plans (NMS) | Notice of Filing and Immediate Effectiveness of Amendment No. 14 to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis, Submitted by the Pacific Exchange, Inc., the National Association of Securities Dealers, Inc., the American Stock Exchange LLC, the Boston Stock Exchange, Inc., the Chicago Stock Exchange, Inc., the Cincinnati Stock Exchange, Inc., and the Philadelphia Stock Exchange, Inc. |
| 34-51108 | Jan 31, 2005 | 4-429 | National Market System Plans (NMS) | Notice of Summary Effectiveness on a Temporary Basis of Joint Amendment No. 14 to the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage Relating to the Limitation in Liability for Filling Satisfaction Orders Sent Through the Linkage at the End of the Trading Day, and Notice of Filing of Such Amendment View Received Comments |
| 34-51012 | Jan 10, 2005 | SR-CTA/CQ-2004-01 | National Market System Plans (NMS) | Notice of Filing of the Seventh Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan and the Fifth Substantive Amendment to the Restated Consolidated Quotation Plan |
| 34-50973 | Jan 6, 2005 | SR-OPRA-2004-06 | National Market System Plans (NMS) | Order Approving an Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information To Amend Guideline 2 of the Capacity Guidelines Adopted in Accordance With the Plan |
| 34-50855 | Dec 14, 2004 | S7-24-89 | National Market System Plans (NMS) | Solicitation of Comments and Order Granting Summary Effectiveness To Request To Extend the Operation of the Reporting Plan for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privilege Basis, Submitted by the Pacific Exchange, Inc., the National Association of Securities Dealers, Inc., the American Stock Exchange LLC, the Boston Stock Exchange, Inc., the Chicago Stock Exchange, Inc., the Cincinnati Stock Exchange, Inc., and the Philadelphia Stock Exchange, Inc. and To Extend Certain Exemptive Relief |
| 34-50789 | Dec 3, 2004 | SR-OPRA-2004-05 | National Market System Plans (NMS) | Notice of Filing and Immediate Effectiveness of Amendment to OPRA Plan To Revise Two Fees Charged by OPRA to Professional Subscribers to OPRA's Basic Service |
| 34-50785 | Dec 2, 2004 | SR-OPRA-2004-06 | National Market System Plans (NMS) | Notice of Filing of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information To Amend Guideline 2 of the Capacity Guidelines Adopted in Accordance With the Plan |
| 34-50211 | Aug 18, 2004 | 4-429 | National Market System Plans (NMS) | Notice of Filing of Amendment No. 13 to the Options Intermarket Linkage Plan Regarding Natural Size View Received Comments See Also - 2004 Comments received electronically are available |